Vice President - Operations & Compliance (PMS)

Intellectual Capital HR Consulting Pvt. Ltd.; Mumbai; On-site; INR 1,500,000 - 2,600,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Mumbai is seeking an operations leader to oversee all operational aspects for a SEBI-registered PMS provider, including compliance, fund operations, client account audits and SEBI internal audits.

The role requires supervisory responsibility for trade execution, settlements and fund accounting, with liaison to brokers, custodians and banks, and a strong focus on regulatory adherence and risk management.

Qualifications

• Experience with PMS, AIF or mutual funds regulatory requirements.
• Knowledge of regulatory standards and compliance procedures.
• Familiarity with financial software and systems.

Responsibilities

• Develop and implement operational strategies to optimise efficiency and effectiveness.
• Supervise trade execution and end-of-day bifurcations, allocations and settlements.
• Manage fund operations including fund accounting, settlements and reconciliations.
• Manage liaison with brokers, custodians and banks for PMS operations.
• Ensure compliance with regulatory rules, regulations and standards.
• Manage the audit of client accounts and internal audit per SEBI PMS Regulations.
• Monitor and manage operational risk; lead and mentor a team of operations professionals.

Tools

Financial software systems

Job description

A SEBI-registered Portfolio Management Service provider is hiring an operations leader responsible for all operational aspects including compliance, fund operations, client account audits and SEBI internal audits.

• Key responsibilities: Develop and implement operational strategies to optimise efficiency and effectiveness
• Supervise trade execution and end-of-day bifurcations, allocations and settlements
• Manage fund operations including fund accounting, settlements and reconciliations
• Manage liaison with brokers, custodians and banks for PMS operations
• Ensure compliance with all regulatory rules, regulations and standards
• Manage the audit of client accounts and internal audit per SEBI PMS Regulations
• Monitor and manage operational risk; lead and mentor a team of operations professionals

Preferred skills: operational processes specific to PMS, AIF or Mutual Funds; knowledge of relevant laws, regulations and compliance standards; familiarity with financial software and systems.